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RMG Operations and Finance Compliance Director
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.The Risk Management Group (RMG) is an independent, centralized unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating Read more […]
Associate Legal & Compliance
Responsibilities: Assist the Department in the implementation of the legal compliance programs. Interact with other Departments to address current and proposed, rules and regulations. Conduct quarterly, monthly and annual forensic testing (including email surveillance, marketing reviews, etc.). Execute annual reviews of firm pursuant to Rule 206(4)-7 under the Advisers Act. Monitor compliance with SEC, CFTC and FINRA rules and regulations. Develop procedures and disclosures that meet the requirements of compliance regulations for new products and services being introduced as assigned. Assist with Read more […]
Head of Compliance Governance & Risk
Our client, a global financial institution is looking for a Head of Compliance Governance Risk to manage a team in helping to ensure that the firm meets its regulatory obligations. The individual would help to identify and mitigate risks across a diverse number of businesses and help promote a proactive regulatory culture. Duties Include: Manage a team in conducting reporting, risk and control to deliver on compliance control assessment objectives across the business. Regularly assess the adequacy and effectiveness of relevant reporting processes function is in place to monitor the business. Read more […]
Equities Compliance Officer
Position Description Job Title: Equities Compliance Officer – RSP and Derivatives Product HeadLevel: Vice President / Executive Director1. Job overview:As a senior member of the EMEA Equities ECM Compliance team, the focus of this role will be providing advisory services to Morgan Stanley’s Retail Structured Products and OTC Equity Derivative businesses in EMEA. The role may also include oversight of the established Compliance programme supporting the Equities division’s wealth management business in Switzerland; which will depend on the experience of the candidate. Morgan Stanley has leading Read more […]
Compliance Officer
Qualifications: – Must have experience with listed and Nasdaq trading, as well as trade reporting. – Must be fluent in all current trading rules and the regulatory environment. – Experience with other aspects of Broker/ Dealer compliance helpful. – Must be able to work independently. – 5 – 10 years compliance experience (preferably in a heavy trading environment) – Must possess series 7, 24, and 63 licenses. – Series 27 and/or Series 14 a plus – Back Office Operations Experience a plus. Responsibilities Include: – Provide real time trading advice and support to the firm’s trading desk Read more […]
Compliance Professional
Compliance ProfessionalA US leading alternative investments firm, is looking to add a compliance professional to their UK team based in London’s West End. The Compliance Specialist will be reporting to the Corporate Compliance Manager and will be have the opportunity to hold responsibility for aspects of compliance outside of the U.S. They will also become a member of the firm’s US-based Legal Compliance Team and will assist the Corporate Compliance Manager in dealing with general firm-wide compliance issues within the London office. Key areas of responsibility are:· Assist in the management Read more […]
Compliance Officer (Switzerland)
Who we are Optiver is an international and innovative proprietary trading firm. We deal with highly-automated electronic market making activities. With offices in Amsterdam, Chicago, Sydney, and Shanghai, we are currently in the process of finalising the setup of our new office in Switzerland. Employing around 600 talented individuals from over 30 nationalities, we trade in more than 20 countries, across 5 continents, 24 hours a day.Optiver is operating in an increasingly complex and fast developing regulatory environment. The Compliance function is mandated to help safeguarding compliant business Read more […]
Compliance Analyst
Trading Reviews/Forensic Testing Review and enhancement of forensic testing for trade related polices (e.g. allocation of investment opportunities, trade target, etc.). Point person for follow up and documentation for Portfolio Manager Trade Rejections. Point person for following up and documentation for Trader Conflict exceptions. Develop, test and own monitoring for Window Dressing and Portfolio Pumping. Review Performance Dispersion reporting. Investment Research Meetings Expert Network Analysis Review reporting to monitor for potential misuse of material non-public information (MNPI) for Read more […]
Compliance Officer (part-time)
The successful candidate will be registered as CF10 11 with the FCA and assume responsibility for all compliance duties within the organisation. This will include a strong focus providing compliance-related advice to the business. Requirements Proven track record in compliance gained at a senior level Currently hold (or have recently held) the CF10 11 controlled functions, or have operated at a comparable level of seniority in a larger firm Be focused on providing business-focused compliance solutions Experience of dealing with AIM listed firms (preferred but not essential) Knowledge of equity Read more […]
Compliance Officer
Responsibilities include: Conduct and document monitoring reviews§ to assess compliance with and adherence to regulations and internal e-communication policies. Follow established global policies, procedures and minimum standards requirements for monitoring and sample testing activities. Be able to undertake configured and customised electronic§ communication monitoring using Bloomberg (e.g. SSRT, MCMP) and Compliance Now functionality. Undertake gifts and entertainment monito§ring to review ongoing activities with a focus on higher risk items including where the expenditure involved: Compliance Read more […]